Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

FinCEN Proposes Extending Anti-Money Laundering Compliance Requirements to Investment Advisers

Banking, Broker-Dealer, Investment Advisers, Private Equity On Tuesday, the United States Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed a rule that would require SEC-registered investment advisers, including private equity and hedge funds, to comply with certain anti-money laundering (AML) rules. These rules already apply to other types of financial institutions such as banks and securities broker-dealers. PURPOSE AND... Read more →

by   |   August 27, 2015

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SEC Grants Relief From Risk Retention In Refinancing Transaction

Investment Advisers The SEC granted Crescent Capital Group LP no-action relief if it does  not retain an eligible risk retention interest under Section 15G of the Securities and Exchange Act of 1934... Read more →

by   |   July 17, 2015

enforcement

SEC Charges KKR With Misallocating Broken Deal Expenses

Investment Advisers, Litigation, M&A, Private Equity Everyone knew the SEC would pursue a marquee-name private equity sponsor for misallocating expenses.  It finally happened, with KKR settling charges for misallocating “broken... Read more →

by   |   June 29, 2015

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SEC Proposes Significant Reporting Requirement Amendments to Form ADV

Broker-Dealer, Investment Advisers On May 20, 2015, the Securities and Exchange Commission (SEC) released several proposals, “Amendments to Form ADV and Investment Advisers Act Rules,” that would... Read more →

by   |   June 25, 2015